Portfolio / reporting / TAMP — January 2025
Portfolio accounting, reporting, rebalancing, and TAMPs (Orion, Black Diamond, Tamarac, SMArtX).
176 firms opened this window in the January 2025 SEC roster: 70 new registration, 48 aum up, 40 pending approved, 7 aum crossed 1b, 6 aum crossed 500m, 5 wrap program started.
98
CURRY WEBB WEALTH MANAGEMENT LLC — (INDIANAPOLIS, IN) is newly SEC-registered with $293.8M RAUM and 4 advisory reps. IAPD ↗
95
BLUE CHIP MONEY MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $41.5M RAUM and 1 advisory reps. IAPD ↗
95
BERKELEY ADVISORS, INC. — (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
95
GLADWYN FINANCIAL ADVISORS, INC. — (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
95
HEALTHVIEW ASSET MANAGEMENT, INC. — (PITTSBURGH, PA) is newly SEC-registered with $100.4M RAUM and 3 advisory reps. IAPD ↗
95
FORTRESS FINANCIAL SOLUTIONS, LLC — (TUCSON, AZ) is newly SEC-registered with $117.9M RAUM and 6 advisory reps. IAPD ↗
95
PALISADE WEALTH MANAGEMENT — (DRAPER, UT) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
95
AVENTUS INVESTMENT ADVISORS, INC. — (CORNELIUS, NC) is newly SEC-registered with $118.5M RAUM and 2 advisory reps. IAPD ↗
95
BLAIR HALL ADVISORS, LLC — (location n/a) is newly SEC-registered with $110.9M RAUM and 2 advisory reps. IAPD ↗
95
GARNETT INVESTMENT STRATEGIES — (BEATRICE, NE) is newly SEC-registered with $122.9M RAUM and 2 advisory reps. IAPD ↗
95
BRILLIANT ADVICE, LLC — (CINCINNATI, OH) is newly SEC-registered with $133.7M RAUM and 2 advisory reps. IAPD ↗
95
TEPP WEALTH MANAGEMENT — (WESTFIELD, NJ) is newly SEC-registered with $149.2M RAUM and 2 advisory reps. IAPD ↗
95
CLF ASSET MANAGEMENT, INC. — (MADISON, WI) is newly SEC-registered with $105.9M RAUM and 5 advisory reps. IAPD ↗
95
UNIFIED WEALTH MANAGEMENT LLC — (OLDSMAR, FL) is newly SEC-registered with $106.5M RAUM and 2 advisory reps. IAPD ↗
95
UNITED VALUE CAPITAL, LLC — (location n/a) is newly SEC-registered with $129.0M RAUM and 1 advisory reps. IAPD ↗
95
GUNDER WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $103.1M RAUM and 2 advisory reps. IAPD ↗
95
COMPREHENSIVE FINANCIAL CONSULTANTS — (CICERO, IN) is newly SEC-registered with $140.3M RAUM and 2 advisory reps. IAPD ↗
95
CURTIS WEALTH MANAGEMENT LLC — (HENDERSON, NV) is newly SEC-registered with $144.9M RAUM and 2 advisory reps. IAPD ↗
95
SHEPHERD WEALTH MANAGEMENT — (CINCINNATI, OH) is newly SEC-registered with $101.6M RAUM and 2 advisory reps. IAPD ↗
95
KERUSSO CAPITAL MANAGEMENT, LLC — (WINSTON-SALEM, NC) is newly SEC-registered with $163.1M RAUM and 2 advisory reps. IAPD ↗
95
BRICKSTONE ADVISORS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
RBG WEALTH ADVISORS LLC — (MEMPHIS, TN) is newly SEC-registered with $103.0M RAUM and 3 advisory reps. IAPD ↗
95
HALLSTATT ADVISORS L.P. — (NEW YORK, NY) is newly SEC-registered with $67.3M RAUM and 1 advisory reps. IAPD ↗
95
WALLEM ASSOCIATES, INC. — (LOVES PARK, IL) is newly SEC-registered with $107.0M RAUM and 2 advisory reps. IAPD ↗
95
TREND TRADE PRO, LLC — (PASADENA, CA) is newly SEC-registered with $182.3M RAUM and 1 advisory reps. IAPD ↗
95
PARADIGM INSTITUTIONAL INVESTORS — (DALLAS, TX) is newly SEC-registered with $189.5M RAUM and 1 advisory reps. IAPD ↗
95
VINEYARD WEALTH GROUP, LLC — (WEST TISBURY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BEATRICE ADVISORS LP — (NEW YORK, NY) is newly SEC-registered with $64.7M RAUM and 2 advisory reps. IAPD ↗
95
VINTRIS WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
EVERY SECURITIES LLC — (SACRAMENTO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SINDIA CAPITAL ADVISERS, LLC — (SOMERS POINT, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
HEWELL FINANCIAL GROUP, INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
JW NOVA WEALTH PARTNERS — (NEWTOWN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
REVV CAPITAL, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MON CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
VIAQUEST ADVISORS LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MORA FINANCIAL — (SANTA ANA, CA) is newly SEC-registered with $500,000 RAUM and 1 advisory reps. IAPD ↗
95
ALIGN FINANCIAL ADVISORS, LLC — (MCKINNEY, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
B.SIDE INVESTMENTS LLC — (DORAL, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CREATIVE INVESTMENT GROUP — (NASHVILLE, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BROOKSIDE STRATEGY AND CONSULTING — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
LUNIN-PACK PLANNING AND ADVICE, LLC — (COLD SPRING, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SELBY WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
85
MISSIONSQUARE RETIREMENT — crossed $1B in regulatory AUM ($668.2M -> $6.11B). IAPD ↗
85
SOFI WEALTH LLC — crossed $1B in regulatory AUM ($943.5M -> $1.37B). IAPD ↗
85
CHEQUERS FINANCIAL MANAGEMENT LLC — crossed $1B in regulatory AUM ($812.0M -> $1.01B). IAPD ↗
85
NEW AGE ALPHA — crossed $1B in regulatory AUM ($195.9M -> $2.67B). IAPD ↗
85
MADISON PARTNERS — crossed $1B in regulatory AUM ($559.0M -> $1.09B). IAPD ↗
75
MOMENT PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
75
PCM ENCORE, LLC — 's provisional registration is now fully approved. IAPD ↗
74
EAGLE ASSET MANAGEMENT INC — reported RAUM up 74% ($33.55B -> $58.48B). IAPD ↗
73
PUREFI WEALTH, LLC — reported RAUM up 147% ($107.6M -> $265.9M). IAPD ↗
73
CASTLE ROCK ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
MFP FINANCIAL SERVICES, LLC — 's provisional registration is now fully approved. IAPD ↗
73
LIFELONG WEALTH ADVISORS, INC. — 's provisional registration is now fully approved. IAPD ↗
73
KEYVANTAGE WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
DSG CAPITAL ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
MOREY & QUINN WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
73
BURLING WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
73
NAVISTA WEALTH MANAGEMENT, INC. — 's provisional registration is now fully approved. IAPD ↗
73
PRASAD WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
73
AVENTURA PRIVATE WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
71
O'SHAUGHNESSY ASSET MANAGEMENT, LLC — reported RAUM up 58% ($7.98B -> $12.60B). IAPD ↗
70
CALDWELL SUTTER CAPITAL, INC. — crossed $500M in regulatory AUM ($488.4M -> $571.1M). IAPD ↗
70
QUANTUM FINANCIAL PLANNING SERVICES, INC. — crossed $500M in regulatory AUM ($466.4M -> $591.6M). IAPD ↗
70
O'ROURKE & COMPANY, INCORPORATED — crossed $500M in regulatory AUM ($412.1M -> $518.1M). IAPD ↗
70
SFE INVESTMENT COUNSEL INC. — crossed $500M in regulatory AUM ($441.8M -> $581.6M). IAPD ↗
70
FINANCIAL GRAVITY ASSET MANAGEMENT, INC. — reported RAUM up 61% ($290.6M -> $469.1M). IAPD ↗
70
GAMMA ASSET MANAGEMENT LLC — reported RAUM up 143% ($100.6M -> $244.1M). IAPD ↗
70
SSB&T WEALTH MANAGEMENT, LLC — reported RAUM up 182% ($35.4M -> $100.0M). IAPD ↗
70
SSB&T WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
RHL GROUP, LLC — 's provisional registration is now fully approved. IAPD ↗
70
XXI WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
70
QTR FAMILY WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
70
PLANWISER FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
70
AGP FRANKLIN, LLC — 's provisional registration is now fully approved. IAPD ↗
70
SEAL COVE CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
CORRALES & CO. — 's provisional registration is now fully approved. IAPD ↗
70
WEALTHPOINT ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
MANNA WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
FORONJY FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
70
PEAK WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
TIDECREST WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
TRUE WEALTH GROUP — 's provisional registration is now fully approved. IAPD ↗
70
MARTINSEN WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
PERSPECTIVE WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
YANDELL INVESTMENTS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
THE WELLINGTON GRP LLC — 's provisional registration is now fully approved. IAPD ↗
70
COLLABORATIVE PORTFOLIO MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
68
SUMMIT FINANCIAL, LLC — reported RAUM up 44% ($8.02B -> $11.55B). IAPD ↗
68
MANNA WEALTH MANAGEMENT — reported RAUM up 68% ($74.2M -> $125.0M). IAPD ↗
67
FRANKLIN ADVISERS, INC. — reported RAUM up 38% ($339.18B -> $467.02B). IAPD ↗
67
RFM FINANCIAL SOLUTIONS, LLC — reported RAUM up 64% ($138.7M -> $227.6M). IAPD ↗
67
STONEX ADVISORS INC. — reported RAUM up 36% ($3.32B -> $4.52B). IAPD ↗
67
CORNERSTONE ADVISORS LLC — reported RAUM up 50% ($182.6M -> $273.7M). IAPD ↗
66
INGALLS & SNYDER LLC — reported RAUM up 32% ($5.23B -> $6.90B). IAPD ↗
66
RAMIREZ ASSET MANAGEMENT, INC. — reported RAUM up 33% ($9.13B -> $12.14B). IAPD ↗
66
PITTENGER & ANDERSON INC — reported RAUM up 34% ($2.48B -> $3.31B). IAPD ↗
65
D.A. DAVIDSON & CO. — reported RAUM up 30% ($27.93B -> $36.18B). IAPD ↗
65
L.M. KOHN & COMPANY — reported RAUM up 25% ($1.67B -> $2.09B). IAPD ↗
65
COPPERLEAF CAPITAL, LLC — reported RAUM up 37% ($185.8M -> $255.1M). IAPD ↗
65
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC — reported RAUM up 25% ($275.43B -> $344.87B). IAPD ↗
65
INTEGRATED QUANTITATIVE INVESTMENTS LLC — reported RAUM up 39% ($280.0M -> $389.0M). IAPD ↗
64
NOESIS CAPITAL MANAGEMENT CORP — reported RAUM up 31% ($539.9M -> $707.2M). IAPD ↗
64
HIGHLAND INVESTMENT ADVISORS LLC — reported RAUM up 31% ($239.2M -> $314.1M). IAPD ↗
63
FIRST KENTUCKY SECURITIES CORP — reported RAUM up 27% ($535.3M -> $678.6M). IAPD ↗
63
INVESTMENT ADVISORY PROFESSIONALS LLC — reported RAUM up 26% ($275.4M -> $347.9M). IAPD ↗
63
SMITH & HOWARD WEALTH MANAGEMENT, LLC — reported RAUM up 29% ($502.5M -> $646.5M). IAPD ↗
63
ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, INC. — reported RAUM up 25% ($369.2M -> $463.0M). IAPD ↗
63
FIDUCIARY FINANCIAL GROUP, LLC — reported RAUM up 27% ($544.6M -> $692.9M). IAPD ↗
63
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC — reported RAUM up 28% ($365.4M -> $467.2M). IAPD ↗
63
MAXWELL WEALTH — reported RAUM up 26% ($231.1M -> $290.4M). IAPD ↗
60
HENLEY & COMPANY WEALTH MANAGEMENT LLC — began participating in a wrap-fee program. IAPD ↗
60
SOUND FINANCIAL STRATEGIES GROUP, LLC — began participating in a wrap-fee program. IAPD ↗
60
FPNAVIGATORS — began participating in a wrap-fee program. IAPD ↗
85
BRIGHT PORTFOLIOS, LLC — (LEE'S SUMMIT, MO) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
HARMONT FIXED INCOME, LLC — (location n/a) is newly SEC-registered with $125.1M RAUM and 1 advisory reps. IAPD ↗institutional
85
POP VENTURE ADVISERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
NEW CATALYST — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
ZACKS INTELLIGENCE LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗institutional
85
IDIRECT PRIVATE CREDIT ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗institutional
85
SARDIS GROUP, LLC — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
RECKONER CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
ELMIND CAPITAL LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
1823 PARTNERS (US) LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
85
TACTICAL ROTATION MANAGEMENT, LLC — (FOREST HILLS, NY) is newly SEC-registered with $65.5M RAUM and 1 advisory reps. IAPD ↗institutional
85
CIFC PRIVATE CREDIT MANAGEMENT LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 100 advisory reps. IAPD ↗institutional
85
LORD ABBETT CLO MANAGEMENT LP — (JERSEY CITY, NJ) is newly SEC-registered with $0 RAUM and 264 advisory reps. IAPD ↗institutional
83
SOCOTRA MANAGEMENT, INC. — (SACRAMENTO, CA) is newly SEC-registered with $408.2M RAUM and 3 advisory reps. IAPD ↗fund
83
MIZZEN MANAGEMENT LLC — (STAMFORD, CT) is newly SEC-registered with $354.3M RAUM and 10 advisory reps. IAPD ↗fund
80
CYPRESS POINT INVESTMENT MANAGEMENT LP — (MILL VALLEY, CA) is newly SEC-registered (provisional 120-day approval) with $77.4M RAUM and 4 advisory reps. IAPD ↗fund
80
PROSSER CREEK ASSET MANAGEMENT LLC — (CORTE MADERA, CA) is newly SEC-registered (provisional 120-day approval) with $41.1M RAUM and 1 advisory reps. IAPD ↗fund
80
RAVENSWOOD PARTNERS LP — (MCLEAN, VA) is newly SEC-registered with $162.6M RAUM and 3 advisory reps. IAPD ↗fund
80
LONG ANGLE MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $234.9M RAUM and 2 advisory reps. IAPD ↗fund
75
ALLIANT RETIREMENT CONSULTING — crossed $1B in regulatory AUM ($144.0M -> $3.62B). IAPD ↗institutional
70
70
GFI INVESTMENT COUNSEL — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $1.65B RAUM and 7 advisory reps. IAPD ↗foreign
68
68
ARROW CAPITAL PTY LTD — (SYDNEY NSW, Australia) is newly SEC-registered with $749.5M RAUM and 2 advisory reps. IAPD ↗foreign
65
TOTUS ALPHA MANAGEMENT PTY LTD — (SYDNEY, NSW, Australia) is newly SEC-registered with $189.4M RAUM and 3 advisory reps. IAPD ↗foreign
65
SENGU CAPITAL LIMITED — (HONG KONG, Hong Kong) is newly SEC-registered with $135.0M RAUM and 2 advisory reps. IAPD ↗foreign
65
65
OPTIMIZE WEALTH MANAGEMENT — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
63
63
63
60
MISSION INVESTMENT ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
59
56
55
55
55
55
55
55
53
53
50
39
39
CORONATION INVESTMENT MANAGEMENT INTERNATIONAL (PTY) LTD — reported RAUM up 47% ($4.13B -> $6.06B). IAPD ↗foreign
38
37
36
36
J. SAFRA SARASIN ASSET MANAGEMENT (NORTH AMERICA) LTD — reported RAUM up 42% ($651.0M -> $922.8M). IAPD ↗foreign
35
35
35
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED — began participating in a wrap-fee program. IAPD ↗foreign
35
32
Free page: firm, event, phone, website. The paid feed adds every window as CSV, filters by state and AUM band, and alerts the day the roster drops. Data: SEC Form ADV monthly roster; confirm on IAPD before acting.